The New York Stock Exchange’s $4.5 million penalty for oversight violations represents the Securities and Exchange Commission’s first salvo since Michael Lewis reignited scrutiny of market structure. NYSE, which ... Read More
In December 2002, five months after he became chairman of the Financial Accounting Standards Board, Robert Herz told a conference of auditors that FASB had set a “very ambitious” ... Read More
Northern Trust Corp. (NTRS), the third-biggest independent custody bank, said it received a subpoena from the U.S. Securities and Exchange Commission in April related to the company’s securities lending. ... Read More
The U.S. Securities and Exchange Commission (SEC), has charged a former executive with insider trading in advance of eBay’s acquisition of the e-commerce company where he worked by tipping ... Read More
The U.S. Securities and Exchange Commission has announced charges against a San Diego-based investment advisory firm, its chief executive officer, chief compliance officer, and another employee for misleading investors ... Read More
The US Securities and Exchange Commission has announced another round of charges in its ongoing case against several individuals involved in a massive kickback scheme to secure the bond ... Read More
U.S. securities regulators are considering testing a proposed reform that could drive business to major stock exchanges and away from alternative trading venues such as “dark pools” that critics ... Read More
A trial attorney from the Securities and Exchange Commission said his bosses were too “tentative and fearful” to bring many Wall Street leaders to heel after the 2008 credit ... Read More
The U.S. Securities and Exchange Commission is examining the exposure of stock exchanges, brokerages and other Wall Street firms to cyber-attacks that have been called a threat to financial ... Read More
The Securities and Exchange Commission charged a stockbroker and a managing clerk at a law firm with insider trading around more than a dozen mergers or other corporate transactions ... Read More
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